Junior Compliance Officer

ABOUT CFM

Founded in 1991, we are a global quantitative and systematic asset management firm applying a scientific approach to finance to develop alternative investment strategies that create value for our clients. We value innovation, dedication, collaboration and the ability to make an impact and together we create an environment for talented and passionate experts in research, technology and business to explore new ideas and challenge assumptions.

ABOUT THE ROLE

The CFM Legal & Compliance team is involved in complex projects requiring a deep understanding of capital market regulations across the world. If you’re a team player, have brilliant attention to detail and want to work in an international environment specialised in financial markets, come and join our team!

The Compliance team seeks a junior compliance officer whose duties will include:

• Keep informed on latest rules, regulations, and best practices with focus on North America and participate in updating of the firm’s regulatory policies
• Supervise compliance with laws, regulations, compliance manuals and code of ethics requirements with focus on staff and operations based in North America
• Work closely with the business development team on new initiatives including reviewing of marketing documentation
• Assist and train staff on compliance matters
• Manage periodic regulatory filings; maintaining books and records and ensuring completion of files
• Operate second line controls to materialise compliance with regulatory, legal, and operational duties
• Participate in audits of internal teams as well as main external providers
• Report exceptions to management, issue and follow up of recommendations.

SKILLSET REQUIREMENTS/QUALIFICATIONS

• You have a master’s degree in business, law or engineering from a highly, regarded establishment
• You ideally have at least 3 years of experience in similar work at an asset manager
• You are a team player with attention to detail and capacity to deliver
• You are comfortable working independently
• You have excellent written and oral presentation/communication skills
• You have a good understanding of regulatory framework applying to Asset Managers (US Adviser Act, US Securities and Exchange Act, Market Abuse, etc.) as well as financial markets and financial products,
• You have a good capacity to use IT systems to resolve business problems.

EQUAL OPPORTUNITIES STATEMENT

We are continuously striving to be an equal opportunity employer and we prohibit any discrimination based on sex, disability, origin, sexual orientation, gender identity, age, race, or religion. We believe that our diversity, breadth of experience, and multiple points of view are among the leading factors in our success.

CFM is a signatory of the Women Empowerment Principles

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KEYWORDS

Junior Compliance Officer, Compliance, Legal & Compliance, Capital Markets Regulation, North America Regulation, Regulatory Compliance, Asset Management Compliance, US Advisers Act, US Securities and Exchange Act, Market Abuse Regulation, Financial Markets Compliance, Financial Products Compliance, Regulatory Policies, Compliance Manuals, Code of Ethics, Marketing Documentation Review, Regulatory Filings, Books and Records Management, Second Line Controls, Internal Audits, External Audits, Compliance Training, Compliance Reporting, Exception Management, Compliance Recommendations, Risk Management, Financial Regulation, New York, Hybrid Work, Junior Compliance, Compliance Monitoring, Compliance Analysis, Business Development Support, IT Systems for Compliance